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Hai Thanh Tran

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Morgan Hill, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-19
CA RA APPROVED 2025-10-24
  • TX RA
    APPROVED
    Since 2025-11-19
  • CA RA
    APPROVED
    Since 2025-10-24

Branch Locations

101 Vineyard Town Ctr, Morgan Hill, CA 95037 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Salinas CA 08/2019 Present
Bank Of America, Na. San Jose CA 01/2014 08/2017
Jp Morgan Chase Seaside CA 09/2017 08/2019
Bank Of America, N.A. Salinas CA 09/2025 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-10-24
  • S66 Uniform Combined State Law Examination
    2025-10-24

View on SEC IAPD

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LPL FINANCIAL LLC · MORGAN HILL, CA
J.P. MORGAN SECURITIES LLC · MORGAN HILL, CA
WELLS FARGO CLEARING SERVICES, LLC · MORGAN HILL, CA
LPL FINANCIAL LLC · MORGAN HILL, CA
FOCUS PARTNERS WEALTH, LLC · MORGAN HILL, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Morgan Hill, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Morgan Hill, CA
J WARD FINANCIAL · MORGAN HILL, CA

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